We are seeking a talented and experienced trading compliance analyst to play a key role in the organization, administration, and enforcement of Two Sigma’s Research and Trading compliance program. The role of Advisory Compliance Officer, within the Research and Trading Compliance Group, is to develop and support, in collaboration with internal stakeholders in Legal and in the Business, a compliance program encompassing the full investment lifecycle, including but not limited to, data acquisition, research practices and methodologies, portfolio management and trading. The role’s responsibilities include, but are not limited to, the following:
• Provide real-time guidance and support to the businesses on regulatory matters that impact the investment process and the firms fiduciary duties;
• Assist with the design and roll-out of compliance strategic initiatives;
• Research current and proposed rules on a global basis across the jurisdictions that Two Sigma operates;
• Full lifecycle support of Policies and Procedures (identify, evaluate, improve and draft) to support the compliance program;
• Develop strong relationships with the businesses we support;
• Develop regulatory reporting and filings in preparation for, and response to, inquiries and audits from regulatory authorities;
• Analyze the effect of new business initiatives, investment products, and markets on the compliance program;
• Identify, develop and provide compliance trainings to members of the Firm on an ad-hoc and annual basis; and
• Support the annual compliance program review.
Role requirements Include:
• Between 5-8 years of experience as a compliance professional at either a large broker-dealer or a mid or large-sized investment advisory firm/hedge fund that has a sizable operation in trading equities (preferably in global markets) and is registered with the SEC;
• Experience at a quantitative or systematic hedge fund is also desirable, as is prior work done at a regulator;
• Familiarity and experience with algorithmic trading a plus;
• Solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933;
• Ability to self-identify and mitigate conflicts related to the investment process;
• The ability to work in a fast paced environment where priorities must be reassessed continually.
• Desire and drive to build deep and trusting relationships with business coverage areas and counterparts in other support roles or control functions;
• Outstanding organizational and communication skills such that they can drive their work and initiatives forward independently while also keeping their manager informed; and
• Ability to understand complex problems and provide clear, concise guidance to aide in their resolution.